SOX Compliance Toolkit

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Lead activities related to evaluating SOX Compliance, determining root causes for deficiencies, problems, or errors and facilitating remedial changes to tighten and enhance controls and Mitigate Risk.

More Uses of the SOX Compliance Toolkit:

  • Confirm your enterprise coordinates Business Continuity/Disaster Recovery and SOX Compliance activities.

  • Follow the prescribed IT Policies and adhere to SOX Compliance throughout all project activities.

  • Ensure ISO/SOX Compliance.

  • Ensure you persuade; lead Business Analysis and rapid Application Development and SOX Compliance consulting are your areas of strength.

  • Identify: for Internal Audit, SOX Compliance, or other Risk Management activities.

  • Establish SOX Compliance and ensure implementation of the assessment.

  • Manage: SOX Compliance, Internal Control and Risk Management.

  • Utilize and manage SOX Compliance Management Software to bring efficiencies to the Program.

  • Contribute to the evolution of the SOX Compliance Program through improvement and standardization of all components of Internal Control.

  • Ensure appropriate development and execution of SOX Compliance and controls.

  • Drive the implementation of processes that enable SOX Compliance.

  • Coordinate with Data Security to provide appropriate security, SOX Compliance and secondary authorization.

  • Develop for Internal Audit, SOX Compliance, or other Risk Management activities.

  • Ensure all Systems And Processes are documented in accordance with Internal Controls and SOX Compliance regulations.

  • Evaluate: IT controls and SOX Compliance analysis.

  • Organize: successfully lead the annual SOX Compliance process ensuring all components and dependencies are managed on a timely basis to meet all deadlines.

  • Lead the planning, execution, documentation and communication of all IT general controls related to SOX Compliance.

  • Ensure your organization executes and leads the IT SOX Compliance Program.

  • Guide: partner with Internal Audit and related teams to develop and maintain SOX Compliance Requirements.

  • Support SOX Compliance Processes, Internal And External Audits.

  • Be accountable for identifying opportunities to make the SOX Compliance process more effective and efficient.

  • Capture data SOX Compliance and maintain related reports.

  • Warrant that your organization creates functional strategies for the sub functions of risk, privacy and SOX Compliance.

  • Coordinate: Financial Management has responsibility over your organizations accounting, budget and planning, Financial Reporting, procurement, and SOX Compliance activities.

  • Drive: IT compliance, SOX Compliance.


Save time, empower your teams and effectively upgrade your processes with access to this practical SOX Compliance Toolkit and guide. Address common challenges with best-practice templates, step-by-step Work Plans and maturity diagnostics for any SOX Compliance related project.

Download the Toolkit and in Three Steps you will be guided from idea to implementation results.

The Toolkit contains the following practical and powerful enablers with new and updated SOX Compliance specific requirements:

STEP 1: Get your bearings

Start with...

  • The latest quick edition of the SOX Compliance Self Assessment book in PDF containing 49 requirements to perform a quickscan, get an overview and share with stakeholders.

Organized in a Data Driven improvement cycle RDMAICS (Recognize, Define, Measure, Analyze, Improve, Control and Sustain), check the…

  • Example pre-filled Self-Assessment Excel Dashboard to get familiar with results generation

Then find your goals...

STEP 2: Set concrete goals, tasks, dates and numbers you can track

Featuring 999 new and updated case-based questions, organized into seven core areas of Process Design, this Self-Assessment will help you identify areas in which SOX Compliance improvements can be made.

Examples; 10 of the 999 standard requirements:

  1. Who uses your product in ways you never expected?

  2. Does SOX Compliance analysis isolate the fundamental causes of problems?

  3. Is supporting SOX Compliance documentation required?

  4. What are the operational costs after SOX Compliance deployment?

  5. What should you stop doing?

  6. What current systems have to be understood and/or changed?

  7. Are the SOX Compliance benefits worth its costs?

  8. How will effects be measured?

  9. How do you manage unclear SOX Compliance Requirements?

  10. Who should receive measurement reports?

Complete the self assessment, on your own or with a team in a workshop setting. Use the workbook together with the self assessment requirements spreadsheet:

  • The workbook is the latest in-depth complete edition of the SOX Compliance book in PDF containing 994 requirements, which criteria correspond to the criteria in...

Your SOX Compliance self-assessment dashboard which gives you your dynamically prioritized projects-ready tool and shows your organization exactly what to do next:

  • The Self-Assessment Excel Dashboard; with the SOX Compliance Self-Assessment and Scorecard you will develop a clear picture of which SOX Compliance areas need attention, which requirements you should focus on and who will be responsible for them:

    • Shows your organization instant insight in areas for improvement: Auto generates reports, radar chart for maturity assessment, insights per process and participant and bespoke, ready to use, RACI Matrix
    • Gives you a professional Dashboard to guide and perform a thorough SOX Compliance Self-Assessment
    • Is secure: Ensures offline Data Protection of your Self-Assessment results
    • Dynamically prioritized projects-ready RACI Matrix shows your organization exactly what to do next:


STEP 3: Implement, Track, follow up and revise strategy

The outcomes of STEP 2, the self assessment, are the inputs for STEP 3; Start and manage SOX Compliance Projects with the 62 implementation resources:

  • 62 step-by-step SOX Compliance Project Management Form Templates covering over 1500 SOX Compliance project requirements and success criteria:

Examples; 10 of the check box criteria:

  1. Cost Management Plan: Eac -estimate at completion, what is the total job expected to cost?

  2. Activity Cost Estimates: In which phase of the Acquisition Process cycle does source qualifications reside?

  3. Project Scope Statement: Will all SOX Compliance project issues be unconditionally tracked through the Issue Resolution process?

  4. Closing Process Group: Did the SOX Compliance Project Team have enough people to execute the SOX Compliance Project Plan?

  5. Source Selection Criteria: What are the guidelines regarding award without considerations?

  6. Scope Management Plan: Are Corrective Actions taken when actual results are substantially different from detailed SOX Compliance Project Plan (variances)?

  7. Initiating Process Group: During which stage of Risk planning are risks prioritized based on probability and impact?

  8. Cost Management Plan: Is your organization certified as a supplier, wholesaler, regular dealer, or manufacturer of corresponding products/supplies?

  9. Procurement Audit: Was a formal review of tenders received undertaken?

  10. Activity Cost Estimates: What procedures are put in place regarding bidding and cost comparisons, if any?

Step-by-step and complete SOX Compliance Project Management Forms and Templates including check box criteria and templates.

1.0 Initiating Process Group:

2.0 Planning Process Group:

3.0 Executing Process Group:

  • 3.1 Team Member Status Report
  • 3.2 Change Request
  • 3.3 Change Log
  • 3.4 Decision Log
  • 3.5 Quality Audit
  • 3.6 Team Directory
  • 3.7 Team Operating Agreement
  • 3.8 Team Performance Assessment
  • 3.9 Team Member Performance Assessment
  • 3.10 Issue Log

4.0 Monitoring and Controlling Process Group:

  • 4.1 SOX Compliance project Performance Report
  • 4.2 Variance Analysis
  • 4.3 Earned Value Status
  • 4.4 Risk Audit
  • 4.5 Contractor Status Report
  • 4.6 Formal Acceptance

5.0 Closing Process Group:

  • 5.1 Procurement Audit
  • 5.2 Contract Close-Out
  • 5.3 SOX Compliance project or Phase Close-Out
  • 5.4 Lessons Learned



With this Three Step process you will have all the tools you need for any SOX Compliance project with this in-depth SOX Compliance Toolkit.

In using the Toolkit you will be better able to:

  • Diagnose SOX Compliance Projects, initiatives, organizations, businesses and processes using accepted diagnostic standards and practices
  • Implement evidence-based Best Practice strategies aligned with overall goals
  • Integrate recent advances in SOX Compliance and put Process Design strategies into practice according to Best Practice guidelines

Defining, designing, creating, and implementing a process to solve a business challenge or meet a business objective is the most valuable role; In EVERY company, organization and department.

Unless you are talking a one-time, single-use project within a business, there should be a process. Whether that process is managed and implemented by humans, AI, or a combination of the two, it needs to be designed by someone with a complex enough perspective to ask the right questions. Someone capable of asking the right questions and step back and say, 'What are we really trying to accomplish here? And is there a different way to look at it?'

This Toolkit empowers people to do just that - whether their title is entrepreneur, manager, consultant, (Vice-)President, CxO etc... - they are the people who rule the future. They are the person who asks the right questions to make SOX Compliance investments work better.

This SOX Compliance All-Inclusive Toolkit enables You to be that person.


Includes lifetime updates

Every self assessment comes with Lifetime Updates and Lifetime Free Updated Books. Lifetime Updates is an industry-first feature which allows you to receive verified self assessment updates, ensuring you always have the most accurate information at your fingertips.